SEC
Whistleblower
Advocates

January 12, 2017

The Bank of New York Mellon Corporation

Financial Fraud

SANCTION AMOUNT: $6,600,000

Defendants: The Bank of New York Mellon Corporation

The SEC found that BNY Mellon deviated from regulatory capital rules and understated its risk-weighted assets (excluding approximately $14 billion in collateralized loan obligations), thus overstating risk-based capital ratios in quarterly and annual reports from the third quarter of 2010 to the first quarter of 2014.

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